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National Disability Advocacy Program Quality Improvement Toolkit

9. Complaints and disputes

Your advocacy agency needs to have an accessible and effective complaint process available for people with disability involved with the agency.  An important consideration in complaint / feedback processes is that people with disability may be less empowered to make a complaint.

Key considerations are that your complaint mechanism provides:

  • Commitment at all levels of the organisation.  This can be demonstrated through effective dissemination of policies and procedures that recognise the positive and important role of complaints
  • Fairness to all concerned, including the complainant, the organisation and the person complained about
  • Accessibility.  The information about the process should be readily accessible in a variety of appropriate formats (including plain English and other languages where appropriate) and be promoted both internally and externally
  • Responsiveness.  The process should provide full, impartial and timely investigation of all aspects of the complaint and provide fair and reasonable remedies where warranted
  • Effectiveness.  The mechanism must be able to address individual complaints and use the information collected to improve overall delivery and to address systemic and recurring problems.

9.1 Getting started

Use this section of the Toolkit to help your agency assess your practices and implement quality improvement actions related to complaints and disputes.

Work through the four step process:

  1. develop a checklist
  2. conduct a self-assessment
  3. plan quality improvement actions
  4. review your progress.

Your agency is not expected to adopt all policies or practices or use all resources provided in this section.  You will find that some of the resources will be relevant to all agencies, while others will only apply depending on your agency’s approach to advocacy.  Where you already have your own quality management practices in place, you may use the resources as a way of gauging how your own practice is going.

Remember, your agency does not have to complete all sections of the Toolkit so start with the sections that are most relevant for your agency.


9.2 Advocacy agency's approach to complaints and disputes

Sussex Street Community Law Service Inc

When clients come to an initial interview, they are informed about our complaints procedure and where they can access more information.  They also receive a hand-out outlining the complaints procedure.  Where a client has made a complaint and is unhappy with the result they can also arrange to speak directly to the General Manager about the matter if they would like.

About twelve months ago, we introduced exit surveys.  If a client comes for a one-off visit they are given the form at the end of that visit, while clients assisted over a period of time are given the form at the end of their case.  Clients get the survey and a stamped, addressed envelope to take home and return anonymously.

As well as some basic demographic information, the survey asks clients to comment on our agency.  Questions include: how easy was it to contact the agency; how quickly did we respond to them; how did we treat them; did they understand the advice we gave; and did they find that advice useful?  The responses allow clients to choose between a range of answers and also allow room for them to provide further comments to support their answer.

If clients wish to make a complaint, there is also a feedback folder in reception where they can take a form and submit it.  We weren’t getting much in there, which is one of the reasons we introduced the exit survey.  People can take the survey home and reflect on whether they have something to complain about.  It’s more confronting for people to submit a complaint in the reception area.  Some clients are disgruntled rather than extremely upset and they don’t want to make a fuss so they wouldn’t submit a form, but they might take the survey home to fill out.

We can’t expect everyone to return the survey, but we generally receive about 20 per month.  The surveys are collated monthly and staff are given general feedback. However, where there is a negative comment, we generally wouldn’t wait until the end of the month to deal with it.

If an individual raises a particular issue, it is discussed with the relevant advocate. Addressing the issue straight away makes it easier to deal with because we can identify the context and discuss what we can do.  For example, if a client comments that we were slow to respond, we consider whether we were particularly busy at that time and what could have been done.  If a client was uncomfortable, we might consider whether there is something we can change in terms of our procedures.

If a broader issue comes through in a few surveys, we’ll address it on an agency level.  For example, there was a period where there was difficulty with phone calls getting through to the agency.  People complained about having to wait too long before being transferred so we changed the phone system, making it quicker to divert from one phone to another.

The survey is a very useful tool to do something automatically.  It might identify a problem we wouldn’t have been aware of otherwise.  It is a really good tool for continuous improvement.

Feedback is a real pointer to how your business is going.  It’s easy to get lots of positive comments on a regular basis and not look deeper into your practice.  If you’re continually patted on the back, you don’t necessarily stop to think about whether you’re pleasing all of your clients.  You might not stop to see that a minority of them are disaffected.

With the exit survey, more often than not, we do get really positive comments and that’s important for the advocates to see where they’ve helped or been particularly understanding.


9.3 Step 1: Develop a checklist

How to do it!

  • Read the list of things to consider for ensuring quality in complaints and disputes
  • Consider your agency’s current practices, policies and procedures for this theme
  • Using this information, draw up your own checklist of the considerations for quality that will be important for you to address in the quality improvement process – you may select some from the list provided and there might be others that your agency has identified

Things to consider – complaints and disputes42
1. We have a clearly documented complaints policy and procedure
2. We have an escalation process if a complaint is not resolved in the first instance (documented in our complaints procedure)
3. Our escalation process states how external referrals will be used, when necessary
4. Our complaints process is made available and explained to people with disability so that they understand their right to make a complaint and how they can do this
5. We inform people with disability they can have a support person with them during the complaints process and we assist them to access a support person
6. We publicise the Complaints Resolution and Referral Service (CRRS) in our office(s) and inform people with disability of the role of the CRRS
7. We have a documented complaints handling register, which includes who is handling the complaint, timeframe for resolution, the resolution and the complainant’s satisfaction/ dissatisfaction
8. We review the complaints register regularly to ensure timeliness of, and satisfaction with, complaints handling and resolution
9. We ensure that we do not breach confidentiality in the way that we handle complaints
10. We have a procedure in place to appropriately deal with complaints that involve a serious allegation or a potential crime
11. We use information (de-identified) from our complaints handling to inform continuous improvement

9.4 Step 2: Conduct a self-assessment



9.5 Examples of evidence

All agencies


9.6 Step 3: Plan quality improvement actions



9.7 Step 4: Review your progress

How to do it!

  • Agree on a review date (usually after 12 months)
  • Go back to your quality improvement worksheet and review your progress and achievements
  • If the improvement action has been successful and involved a new process or policy, you might now formalise this process
  • If the improvement action has been unsuccessful, you will need to consider new strategies
  • Fill in the final column of the worksheet.  Tick actions that have been completed and document any further action that is required.

9.8 Resources

9.8.1 Complaints Handling – Guiding Principles based on the Australian Standard on Complaint Handling (AS 4269 – 1995)44

1. VISIBILITY   Information about how and where to complain should be well- publicised to customers, personnel and other interested parties.

2. ACCESSIBILITY  The complaints handling process should be easily accessible to all complainants.  This includes readily accessible information about the process, flexibility in the methods of making complaints and special arrangements and/or support for complainants with specific needs (including interpreters).

3. RESPONSIVENESS   Receipt of each complaint should be acknowledged to the complainant immediately.  Complaints should be addressed promptly, complainants should be treated courteously and kept informed of the progress of their complaint through the complaints handling process.

4. OBJECTIVITY   Each complaint should be addressed in an equitable, objective and unbiased manner through the complaints handling process.

5. CHARGES   Access to the complaints handling process should be free of charge to the complainant.

6. CONFIDENTIALITY   Personally identifiable information concerning the complainant should be available where needed, but only for the purposes of addressing the complaint within the agency and should be actively protected from disclosure, unless the customer or complainant expressly consents to its disclosure.

7. INVESTIGATION OF COMPLAINTS   Every reasonable effort should be made to investigate all the relevant circumstances and information surrounding a complaint.

8. CUSTOMER-FOCUSED APPROACH   The agency should adopt a customer-focused approach, be open to feedback including complaints, and should show commitment to resolving complaints by its actions.

9. RESOLUTION OF COMPLAINT  Following an appropriate investigation, the agency should offer a response, for example, correct the problem and prevent it happening in the future.  The decision or action taken regarding the complaint should be communicated to the complainant as soon as the decision or action is taken.

10. ACCOUNTABILITY   The agency should ensure that accountability for and reporting on the actions and decisions of the organisations with respect to complaints handling is clearly established.

11. CONTINUAL IMPROVEMENT   The continual improvement of the complaints handling process and the quality of services should be a permanent objective of the agency.


9.8.2 Setting Up an Effective Complaints System45

1. Set up a group

Ask your staff/ volunteers and clients/ people with disability and their families about how they think the complaints system should work.  You should use this group as a resource throughout the development of your complaints policies and procedures.

2. Show management support

You need a clear statement from the management of your agency about why the complaints process is being set up.  Outline the benefits for your agency and for clients.  You should include this in a policy statement for your agency.

3. Accept all complaints

There should be channels for people to complain about anything in your agency that they think does not work or is unfair.  Just by listening actively and using good communication skills you can resolve many complaints on the spot.  If you have a complaints form, ensure that it is simple and easy to use for both supported employees and staff.

4. Three levels of complaint handling

Informal – for simple straightforward complaints.  Make clear your staff authority to resolve such complaints as far as possible.
Formal – for more complex or serious matters which need to be referred to a designated complaints person, a supervisor or manager.
External – for when complaints cannot be resolved internally.  Clients/ people with disability should have the opportunity to use external systems at any time in your complaints process.  For disability advocacy agencies and employment services, the external complaints body is the National Disability Complaints Resolution and Referral Service (CRRS).

5. Make it easy for clients/ people with disability and others to complain

You need to think about the accessibility of your complaints and resolution procedures – Easy English, Auslan, interpreter, Braille, tape.  Are your procedures widely available and documented?

6. Record received complaints and comments

You should have a system for recording complaints, comments and suggestions. This is an excellent tool for continuous improvement and helps you keep a handle on what’s happening in your agency.  It’s good to keep positive feedback and distribute to your agency for morale.

7. Staff/ volunteer training

You should have a policy document that outlines your complaints system – both the process and the philosophy.  You need to ensure that your message is getting across through staff meetings, newsletters, posters, training, induction training, employment contracts and agreements.

8. Train your clients/ people with disability

Your system is useless if your clients/ people with disability, their families and other members of the public don’t know about it.  How can you best communicate your complaints policy?  Is it in a poster, a pamphlet, a newsletter?  Are the formats you are communicating in appropriate for the target group?

9. Use your feedback to keep improving your agency

Monitor your complaints system – is it working?  If you are not receiving complaints, what does this mean? What are the complaints you are receiving telling you about your agency’s operation?


9.8.3 Accessible complaints policy checklist46


check box     Easy English. Policy is explained in easy-to-understand English, with clear and short sentences, and in other formats appropriate to specific disability as required (eg Braille). If a complex word or term is used, an easy English definition is also provided.
check box Responsive and timely. Complaint is handled quickly and timeframes are short and clear.
check box Process is clearly explained and easy to follow (eg Step 1, Step 2…).
check box Demonstrated commitment to resolution is in line with our agency’s vision, aims and objectives.
check box Assistance is offered to clients to lodge complaints.
check box Follow up. Complainant is kept informed of progress.
check box There is a good use of pictures that are age-specific and not childlike.
check box Referral and contact details are provided for external services where complaint is unresolved or complainant chooses to go elsewhere.
check box Advocacy and other supports are encouraged throughout the process and referral details provided if required
check box Flexible. Complaints can be received in a range of formats including verbally.
check box Complainants are encouraged to try and resolve issue at the most local level.
check box Policy has a statement about no retribution and that complaints are welcome, will be taken seriously and will be handled honestly, fairly and without bias.
check box Confidential. Privacy of complainant and details of complaint is maintained. Permission is sought from complainant if it is necessary to discuss details with other stakeholders.
check box Other opportunities for feedback, including anonymous feedback, are encouraged (eg suggestion box, focus groups, surveys).
check box There is a commitment to use information from complaints for improvement.
check box Policy is regularly reviewed and the review date included.
check box Promotion. Policy is displayed and regular training is provided.
check box Record keeping. Policy has a statement about keeping all records of the complaint, including file notes of discussions.

9.8.4 Local resolution meeting documents47

This document from the Complaints Resolution and Referral Service (CRRS) includes an agenda, agreement form and meeting guidelines that may assist your agency when you have a meeting to resolve a complaint.

MEETING AGENDA
Date:  
Venue:  
Present:  
Purpose: To come together in an atmosphere of cooperation, trust and willingness to resolve the complaint.
To listen to, and gain a better understanding of, each other’s views. What has happened in the past cannot be changed but what is worked out in the present and at this meeting will affect the future.

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

check box  Welcome and Introductions
check box  Housekeeping eg: toilets, water, mobile phones
check box  Meeting Guidelines – Complete MEETING GUIDELINES sheet
Key Discussion Points: Take turns to discuss each point and write down all agreements.
check box  _______________________________________________
check box  _______________________________________________
check box  _______________________________________________
check box  _______________________________________________
check box  Future Relationship and Communication – moving forward
check box  Follow up

MEETING GUIDELINES
Before the meeting: 
tick  
check box  Check that the meeting room is private, quiet and accessible
check box  Allow enough time for the meeting. Clear your diary
check box  Enter the meeting in good faith and with a positive attitude
During the meeting: Go through each point below and tick all agreed ones.
tick  
check box  Agree to switch off any mobile phones to avoid distractions
check box  Check time constraints. How much time do all parties have for the meeting
check box  Acknowledge and thank everyone for coming and being committed to resolving the complaint
Discuss and agree on the following guidelines: 
tick  
check box  Agree to listen to the other person’s point of view or side of the story without interrupting or talking over.
check box  When talking about your side of the story remember to say how you felt and use ‘I’ statements
check box  Agree to be respectful when others are speaking and use respectful language
check box  Agree to respect each other’s privacy and confidentiality. That is, what is said in the meeting will not be talked about to others outside the meeting
check box  Agree to be open and honest
check box  Be objective; that is, put yourself in the other person’s shoes
check box  Anyone can request a break at any time
check box  Anyone can end the meeting at any time
check box  All parties to be given a copy of the agreement

AGREEMENT

Date: ___/___/___

Parties to the Agreement: 

Complainant: __________________________________________________

Advocate: ____________________________________________________

Support Person: ________________________________________

Service Staff: _________________________ Position: _____________

Service Staff: _________________________ Position: ______________

Agreements:

1. ___________________________________________________

_____________________________________________________

_____________________________________________________

2. ___________________________________________________

_____________________________________________________

_____________________________________________________

3. ___________________________________________________

_____________________________________________________

_____________________________________________________

4. ___________________________________________________

_____________________________________________________

_____________________________________________________

5. ___________________________________________________

_____________________________________________________

_____________________________________________________

Signature: ____________________________________

Signature: ____________________________________

Signature: ____________________________________

Signature: ____________________________________


9.8.5 Sample compliment/ complaints feedback form48

About you (if you want to make an anonymous complaint or compliment, go to the next section)

Your details — please only provide the contact details that you are happy for our staff to use to contact you.

Name: Mr/Mrs/Miss/Ms/Dr ...........................................................................................................................

Mailing address: ...........................................................................................................................................

.................................................................................................................. Postcode: ....................................

Email: ......................................................................... Mobile number: (      ) ............................................

Contact phone number during business hours: (      ) .........................................................................

Do you have an advocate you would like us to discuss your complaint with?

Yes       Name of representative: ...............................................................................................................

              Mailing address:              ...............................................................................................................

                                                          ................................................................................................................

              Phone:                               ................................................................................................................

              Email:                                ................................................................................................................

No

Please advise our office as soon as possible if any of your contact details change.

About the respondent (who you are complimenting or complaining about)

I am complimenting/complaining about: 

..........................................................................................................................................................................

Have you raised this compliment or complaint before?

If yes—what was the response, if any?

..........................................................................................................................................................................

..........................................................................................................................................................................

..........................................................................................................................................................................

..........................................................................................................................................................................

Your compliment or complaint

Please give us details of your compliment or complaint:

..........................................................................................................................................................................

..........................................................................................................................................................................

..........................................................................................................................................................................

..........................................................................................................................................................................

Please tell us what you would like to see happen as a result of your compliment or complaint:

..........................................................................................................................................................................

..........................................................................................................................................................................

..........................................................................................................................................................................

..........................................................................................................................................................................

..........................................................................................................................................................................

..........................................................................................................................................................................

We undertake to respond to your compliment or complaint within one week of receiving it.  If you have raised a complaint, the timeframe for resolving your complaint is explained in our complaints policy and procedure, which is attached for your information.


9.8.6 Sample Complaints Resolution and Referral Service (CRRS) feedback form49

This Feedback form used by the Complaints Resolution and Referral Service (CRRS) could be used in the development of your agency’s feedback form.

Feedback Form

- Private and confidential -

As part of CRRS continuous improvement we would like feedback on your experience with the CRRS.  All feedback is greatly appreciated and can be anonymous.

1. What type of service/support did you receive from the CRRS?

check box CRRS directed local or internal resolution
check box Conciliation or facilitated meeting
check box CRRS investigation
check box CRRS referral
check box Continuous improvement
check box Other_____________________________

2. How well did the CRRS understand and meet your individual needs?

Not at all                 1        2        3        4        5                  Very well

Comments: _______________________________________________________

_________________________________________________________________

3. How satisfied were you with the resolution of the complaint?

Very unsatisfied                 1        2        3        4        5        N/A     Very satisfied

Comments: _______________________________________________________

_________________________________________________________________

4. How did you find the quality and accessibility of the CRRS materials and correspondence, such as initial letters, finding reports, brochures, and meeting documents, for local resolution?

Low quality              1        2        3        4        5        N/A              High quality

Comments:

_________________________________________________________________

_________________________________________________________________

5. How do you rate the fairness and impartiality of the CRRS?

Very unfair/impartial         1                  2                 3       4        5       N/A         Very fair/impartial

Comments: _______________________________________________________

_________________________________________________________________

6. Please rate your overall satisfaction with the CRRS

Very unsatisfied                 1        2        3        4        5                  Very satisfied

Comments: _______________________________________________________

7. How could the CRRS improve?

_________________________________________________________________

_________________________________________________________________

_________________________________________________________________

Name: ___________________________________________________________

Phone: ___________________________________________________________

The CRRS may be able to use some of your comments to promote the service to people with disability. I give the CRRS permission to use comments I have made.

Check box Yes             Check box No   Please sign: _________________________________

Please return feedback sheet in envelope to:

CRRS Locked Bag ‘REPLY PAID’ 2705 Strawberry Hills NSW 2012

or Fax: (02) 9318 1372

Thank you!


9.8.7 Sample Complaints Resolution and Referral Service feedback form – pictorial50

This is a pictorial version of the previous feedback form. You may consider using something similar with your clients if this format would be more accessible to them.

Feedback for the CRRS

Date: _________________________

1. What type of service/support did you receive from the CRRS?

check box  CRRS directed local or internal resolution
check box  Conciliation or facilitated meeting
check box  Investigation
check box  Referral
check box  Continuous improvement
check box  Other_____________________________

2. How well did the CRRS listen and understand you?

Very well        Well         Not sure         Not well

Comments:___________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

3. How happy are you with how your complaint was resolved or fixed?

Very happy        Happy         Not sure         Unhappy

Comments:___________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

4. Was the information (letters, permission form) sent to you easy to understand?

Very easy      Easy           Not sure         Not easy

Comments:___________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

5. How fair did you find the CRRS?

Very fair        Fair         Not sure         Unfair

Comments:___________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

6. How helpful was the CRRS?

Very helpful        Helpful         Not sure         Unhelpful

Comments:___________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

7. How could the CRRS do things better?

_____________________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

_____________________________________________________________________

Name: __________________________________________

Phone: __________________________________________

The CRRS may be able to use some of your comments to promote the service to other people with disability. I give the CRRS permission to use comments I have made

Check box Yes  Check box No     Please sign: _________________________________

Please return feedback sheet in envelope to:

CRRS Locked Bag ‘REPLY PAID’ 2705 Strawberry Hills NSW 2012
or Fax: (02) 9318 1372

Thank you!


9.8.8 Complaints Register51

Establishment of a Complaints Register enables your agency to monitor your internal processes to ensure complaints and concerns raised are addressed in accordance with the principles of natural justice.  Where a significant issue/ concern is raised through informal channels (ie is not a formally documented complaint) an entry should still be made in the register, in order for you to evidence your practice.  Where the action you take for resolution leads to a continuous improvement activity (eg a change in a policy or procedure), this should be noted in Action taken column with reference to the allocated CQI ID #.


Complainant’s name Contact Details Date complaint received Issue/
concern raised		 Action taken Date action taken Date of resolution/ closure Date of feedback
               
               
               

9.8.9 Sample Complaints Register – Rights in Action Inc


REGISTER NUMBER COMPLAINANT’S NAME DATE ISSUE ACTION CLOSED DATE SIGNED
             
             
             
             
             
             
             
             

9.8.10 Sample tracking form for complaint matter52


Matter no    
Name    
Call no Date Time   Staff
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         
         

9.9 Sample policies and procedures

You can use the following as a template or starting point for developing your agency’s policies and procedures.  Or you may use them to gauge your agency’s existing policies and procedures.


9.9.1 Complaints and Disputes

Principles

Our agency supports the right of people with disability, or of the carers and families of people with disability, to make a complaint without retribution.  Our agency will take all reasonable steps to ensure that anyone involved in making a complaint is not victimised, and will inform complainants of how they will do this.

Our agency’s complaints and disputes policy and procedure will be accessible to clients and people with disability.  Copies of the complaints and disputes mechanisms will be available, written in clearly understandable language. Provisions will also be made for people from a Culturally and Linguistically Diverse (CALD) background with disability to have access to material relating to complaints and disputes policy and procedures where required.  The material explaining the complaints and disputes system will make explicit that there will be no retribution against anyone who makes a complaint against our agency.

Sample Procedure

Step One

In the first instance, the person with disability is encouraged to discuss the matter with the person perceived to be responsible for the grievance.  If the person with disability feels unable to discuss the matter directly with the person involved, for instance because the allegation is a serious one such as sexual harassment, the matter should be referred directly to the Management Committee of our agency.

Confidentiality and privacy should be respected as much as possible.

Step Two

If the matter is not resolved by discussion with the involved parties, the grievance should be referred to the Management Committee.  The Management Committee will form a sub-committee to address grievances.

This subcommittee will discuss with the complainant whether the complainant requires a support person to assist them through the dispute resolution process.

Step Three

Where the dispute cannot be resolved at Committee level, the Committee will appoint, with the complainant’s approval, an independent conciliator to assess the grievance.  The conciliator will report on the outcome to the Committee and the client.

Step Four

Disputes that are still unresolved after this stage should be referred to an external body.


9.9.2 Sexual Harassment

Sexual harassment is unwelcome sexual attention or uninvited sexual advances that result in you feeling embarrassed, humiliated or intimidated.  Sexual harassment may be explicit or implicit.  It may be a single incident or occur over a period of time.

Examples of behaviours that may be considered sexual harassment include:

Our agency will:

Complaints about sexual harassment within our agency should use the normal system of complaint/ dispute resolution outlined in our agency’s complaints and disputes policy.  However, the complainant may wish to omit Step One if they are uncomfortable discussing the matter directly with the other person.


9.9.3 Staff Misconduct and Discipline

Definitions

Misconduct is failure by an employee to fulfil their duties.  Misconduct includes the following actions carried out at agencies or during the course of an employee’s duties:

There are two possible responses to misconduct by employees: counselling/ warning or dismissal.

Staff members/ volunteers involved in misconduct or discipline procedures have the right to notify an accredited representative of their Union or other support person/ advocate of their choice, to organise a meeting with the appropriate program manager and to accompany the employee at any time during these procedures.

Allegations of misconduct should be referred to a member of the Management Committee.

Procedures (From Employer’s First Guidelines)

The 4 step procedure, outlined below, aims to get an employee [defined as any person who has an employment relationship with agency] who has not been performing or behaving satisfactorily ‘back on track’.  The steps are designed to ensure that the employee is treated fairly. 

Step 1.  Counselling and Oral Warning

The employee’s supervisor or a member of the Management Committee will initiate a discussion with the employee about their performance or behaviour.  The purpose is to bring the unsatisfactory performance or behaviour to the employee’s attention.

Before the discussion the supervisor or committee member will:

During the discussion the employee’s supervisor or committee member will:

After the discussion, the employee’s supervisor or committee member will:

Step 2.  Counselling and Written Warning

Before the discussion the employee’s supervisor or committee member will follow the procedures in Step 1.

In addition, the employee’s supervisor or committee member will:

During the discussion, the employee’s supervisor or committee member will:

After the discussion, the employee’s supervisor or committee member will:

Step 3.  Counselling and Final Written Warning

The committee member will:

Step 4.  Dismissal

Before the dismissal, the Committee member will:

During the dismissal, the Committee member will:

After the dismissal the Committee member will:

Instant Dismissal

This will only be considered if an employee does the following activities at work:

The Committee member will:

9.9.4 Sample Complaints Policy and Procedure – Rights in Action Inc.53

Policy

RIA acknowledges that all people seeking advocacy have the right to be heard on issues of concern, undertakes to address all concerns and complaints made, and to quickly work towards an outcome satisfactory to all parties.  This will be done without fear of retribution and in an equitable way.  RIA believes that queries, concerns and complaints provide valuable feedback about how the organisation can improve its service.

People seeking advocacy have the right to:

RIA Advocates have a responsibility to maintain complete confidentiality if they provide information during the investigation of a complaint.  Spreading gossip or rumours could expose people to defamation action.

It is the responsibility of RIA staff to inform people seeking advocacy of this policy.  All people seeking advocacy will have access to the Complaints Policy.

Procedure

The following procedure ensures the efficient and accountable actions of RIA staff and the Management Committee when responding to complaints (see figure on following page):

(See below for Complaint Procedure Time Frame Flow Chart)

Confidential Records

Confidential records are kept of the complaint process.  The documentation must be stored securely so that the privacy of the person advocated for is protected.  People seeking advocacy may view documentation related to their own complaint.

Extending Timeframes

Timeframes for achieving stages of this procedure may be extended if there is reasonable justification for doing so.  Reasons for doing so must be clearly documented.

Complaints Resolution and Referral Service

If the person advocated for is not happy with the way RIA addressed his/her complaint, he/she should be encouraged to contact the Complaints Resolution and Referral Service (CRRS) on 1800 880 052.  CRRS is a service that helps people with disability sort out complaints about advocacy services funded by the Australian Department of Families, Housing, Community Services and Indigenous Affairs.  CRRS helps deal with complaints when a service is not meeting the National Disability Services Standard.

When looking at a complaint, CRRS:

If the complaint is not solved, CRRS will inform the Department of Families, Housing, Community Services and Indigenous Affairs.  It is RIA’s responsibility to inform the person advocated for that this service exists.

Complaint Procedure Time Frame Flow Chart

This flowchart lists the complaint resolution steps and the timeframe required for an agency to attempt to resolve a complaint made by a person advocated for against another person.

9.10 Useful links

The Complaints Resolution and Referral Service, http://www.crrs.org.au/.

 

  1. Adapted from DEA Quality Strategy Toolkit, http://www.fahcsia.gov.au/disability/quality_strategy_toolkit/section3/3_4/3_standard4a.htm.
  2. Disability Services Queensland, http://www.disability.qld.gov.au/key-projects/quality/publications-tools-resources/tools/implementation-plan-template.html.
  3. Paraphrased from the Australian StandardTM Customer satisfaction – Guidelines for complaints handling in organizations (AS ISO 10002-2006), Disability Services Commission Consumer Liaison Service February 2007, www.disability.wa.gov.au/dscwr/_assets/main/guidelines/documents/doc/australian_standards_guiding_principles.doc.
  4. NSW Community Services Commission ‘An Easy To Follow Guide To Good Complaints Handling’, in DES Continuous improvement Handbook.
  5. Disability Employment Services Quality Strategy Toolkit.
  6. Complaints Resolution and Referral Service (CRRS) http://www.crrs.org.au/publications.html.
  7. Disability Employment Services, Quality Strategy Toolkit.
  8. Disability Employment Services, Quality Strategy Toolkit.
  9. Disability Employment Services, Quality Strategy Toolkit.
  10. Disability Services Queensland.
  11. Disability Employment Services, Quality Strategy Toolkit.
  12. Excerpt from Rights In Action Inc. Policy and Procedures Manual, Section 6: The Rights and Responsibilities of People Seeking/Receiving Advocacy.

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